Regulatory Alerts2021-08-16 | 2021-16960Added · Updated
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
The Securities and Exchange Commission issued a final rule correction to address a technical inaccuracy in its September 2019 release regarding recordkeeping and reporting requirements for security-based swap dealers, major security-based swap participants, and broker-dealers. The amendment specifically modifies Part II of Form X-17A-5 by replacing the reference to Rule 18a-7 page 99 with page 12999. This correction to 17 CFR Part 249 became effective on August 16, 2021, ensuring the regulatory text accurately reflects the Commission's adopted standards.
Paragraph 6005 Class E Airspace Areas Extending Upward From 700 Feet or More Above the Surface of the Earth.
ASW TX E5 Mineola/Quitman, TX [Amended] Wood County Airport-Collins Field, TX (Lat. 32°44′32″ N, long. 95°29′47″ W) That airspace extending upward from 700 feet above the surface within a 6.4-mile radius of Wood County Airport-Collins Field, and within 3.8 miles east and 5.7 miles west of the 182° bearing from the Wood County Airport-Collins Field extending from the 6.4- mile radius of Wood County Airport-Collins Field to 21.3 miles south of Wood County Airport-Collins Field. Issued in Fort Worth, Texas, on August 11, 2021. Martin A. Skinner, Acting Manager, Operations Support Group, ATO Central Service Center. [FR Doc. 2021–17443 Filed 8–13–21; 8:45 am] BILLING CODE 4910–13–P SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 249 [Release No. 34–87005C; File No. S7–05– 14] RIN 3235–AL45 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and BrokerDealers; Correction AGENCY: Securities and Exchange Commission. ACTION: Final rule; correction. SUMMARY: On September 19, 2019, the Securities and Exchange Commission (the ‘‘Commission’’) adopted recordkeeping, reporting, and notification requirements applicable to security-based swap dealers and major security-based swap participants, securities count requirements applicable to certain security-based swap dealers, and additional recordkeeping requirements applicable to brokerdealers to account for their securitybased swap and swap activities. Release 34–87005 (Sept. 19, 2019) was published in the Federal Register on Dec. 16, 2019 (84 FR 68550). This document corrects a technical inaccuracy in that release. DATES: Effective August 16, 2021. FOR FURTHER INFORMATION CONTACT: Valentina Minak Deng, Special Counsel, at (202) 551–5778; Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–7010. SUPPLEMENTARY INFORMATION: We are making a technical correction to Part II of Form X–17A–5 (referenced in 17 CFR 249.617). The release resulting in the technical inaccuracy was published in the Federal Register on December 16, 2019 [84 FR 68550], and adopted by the Commission in Exchange Act Release No. 87005 on September 19, 2019. List of Subjects in 17 CFR Part 249 Brokers, Recordkeeping and reporting requirements, Securities. Accordingly, 17 CFR part 249 is corrected by making the following amendment: PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 ■ 1. The authority citation for part 249 continues to read, in part, as follows: Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111–203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112–106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112–106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114–94, 129 Stat. 1312 (2015), unless otherwise noted.
Section 249.617 is also issued under Pub. L. 111–203, 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o–7 note).
■ 2. Amend Part II of Form X–17A–5 (referenced in § 249.617) by removing ‘‘4) Rule 18a–7 99’’ and adding in its place ‘‘4) Rule 18a–7 12999’’. Note: The text of Part II of Form X–17A– 5 and the instructions thereto do not and this amendment will not appear in the Code of Federal Regulations. Dated: August 4, 2021. Vanessa A. Countryman, Secretary. [FR Doc. 2021–16960 Filed 8–13–21; 8:45 am] BILLING CODE 8011–01–P
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